SEC Form 4 · accession 0001209191-16-107183
American Water Works Company, Inc. · AWK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Loyd A Warnock
Officer — SVP, External Affairs, Comm.
Period of report
Mar 4, 2016
Accepted (ET)
Mar 8, 2016 · 8:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001410636
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 4, 2016 | M | 3,115 | $52.75 | A | 11,862 | D | |
| Common Stock | Mar 4, 2016 | S | 3,115 | $67.53 | D | 8,747 | D | |
| Common Stock | Mar 4, 2016 | M | 3,050 | $46.45 | A | 11,797 | D | |
| Common Stock | Mar 4, 2016 | S | 3,050 | $67.53 | D | 8,747 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $52.75 | Mar 4, 2016 | M | 3,115 | D | — | Dec 31, 2021 | Common Stock | 3,115 | 7,320 | D |
| Employee Stock Option (right to buy)F4,F3 | $46.45 | Mar 4, 2016 | M | 3,050 | D | — | Dec 31, 2020 | Common Stock | 3,050 | 5,464 | D |
Explanation of responses
- F1Includes 143 shares purchased under the American Water Works Company, Inc. Employee Stock Purchase Plan.
- F2The option award granted on February 17, 2015, representing a right to purchase 10,435 shares, vests in three equal installments on January 1, 2016, 2017 and 2018.
- F3The option award granted on April 28, 2014, representing a right to purchase 12,273 shares, vests in three equal installments on January 1, 2015, 2016 and 2017.
- F4A prior exercise of 3,759 shares underlying this option was previously reported.